Rule 7.03 Prohibited Solicitations and Payments
(a) A lawyer shall not by in-person or telephone contact seek professional employment concerning a matter arising out of a particular occurrence or event, or series of occurrences or events, from a prospective client or nonclient who has not sought the lawyer's advice regarding employment or with whom the lawyer has no family or past or present attorney-client relationship when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain. Notwithstanding the provisions of this paragraph, a lawyer for a qualified nonprofit organization may communicate with the organization's members for the purpose of educating the members to understand the law, to recognize legal problems, to make intelligent selection of counsel, or to use legal services. In those situations where in-person or telephone contact is permitted by this paragraph, a lawyer shall not have such a contact with a prospective client if:
(1) the communication involves coercion, duress, fraud, overreaching, intimidation, undue influence, or harassment:
(2) the communication contains information prohibited by Rule 7.02(a); or
(3) the communication contains a false, fraudulent, misleading, deceptive, or unfair statement or claim.
(b) A lawyer shall not pay, give, or offer to pay or give anything of value to a person not licensed to practice law for soliciting prospective clients for, or referring clients or prospective clients to, any lawyer or firm, except that a lawyer may pay reasonable fees for adverting and public relations services rendered in accordance with this Rule and may pay the usual charges of a lawyer referral service that meets the requirements of Article 320(d), Revised Statutes.
(c) A lawyer, in order to solicit professional employment shall not pay, give, advance, or offer to pay, give, or advance anything of value, other than actual litigation expenses and other financial assistance as permitted by Rule 1.08(d), to a prospective client or any other person; provided however, this provision does not prohibit the payment of legitimate referral fees as permitted by paragraph (b) of this Rule.
(d) A lawyer shall not enter into an agreement for, charge for, or collect a fee for professional employment obtained in violation of Rule 7.03(a), (b), or (c).
(e) A lawyer shall not participate with or accept referrals from a lawyer referral service unless the lawyer knows or reasonably believes that the lawyer referral service meets the requirements of Article 320(d), Revised Statutes.
Comment - Rule 7.03
1. In many situations, in-person or telephone solicitations by lawyers involve well-known opportunities for abuse of prospective clients. Nonetheless, paragraph (a) unconditionally prohibits those activities only when profit for the lawyer is a significant motive and the solicitation concerns matters arising out of a particular occurrence, event or series of occurrences or events. The reason for this limited outright ban is that there are circumstances where the dangers of such contacts can be reduced. As long as the conditions of subparagraphs (a)(1) through (a)(3) are not violated by a given contact, a lawyer may engage in telephone or in-person solicitations when the solicitation is unrelated to a specific occurrence, event, or series of occurrences or events. Similarly, subject to the same restrictions, in-person or telephone solicitations are permitted where the prospective client either has a family or past or present attorney-client relationship with the lawyer or where the potential client had previously contacted the lawyer about possible employment in the matter.
2. In addition, Rule 1.03(a) does not prohibit a lawyer for a qualified non-profit organization from in-person or telephone solicitation of prospective clients for purposes related to that organization. Historically and by law, nonprofit legal aid agencies, unions, and other qualified nonprofit organizations and their lawyers have been permitted to solicit clients in-person or by telephone, and Rule 1.03(a) is not in derogation of their constitutional rights to do so. Attorneys for such nonprofit organizations, however, remain subject to this Rule's general prohibitions against undue influence, intimidation, overreaching, and the like.
Paying for Solicitation.
3. Rule 7.03(b) does not prohibit a lawyer from paying standard commercial fees for advertising or public relations services tendered in accordance with these Rules. In addition,. a lawyer may pay the fees required by a lawyer referral service that meets the requirements of Article 320(d), Revised Statutes. However, paying, giving, or offering to pay or give anything of value to persons not licensed to practice law who solicit prospective clients for lawyers has always been considered to be against the best interest of both the public and the legal profession. Such actions circumvent these Rules by having a nonlawyer do what a lawyer is ethically proscribed from doing. Accordingly, the practice is forbidden by Rule 7.03(b). As to payments or gifts of value to licensed lawyers for soliciting prospective clients, see Rule 1.04(f).
4. Rule 1.08(c) prohibits a lawyer from paying or giving value directly to a prospective client or any other person as consideration for employment by that client except as permitted by Rule 1.08d).
5. Paragraph (d) prohibits a lawyer from agreeing to or charging for professional employment obtained in violation of Rule 7.03. Paragraph (e) further requires a lawyer to decline business generated by a lawyer referral service unless the lawyer knows or reasonably believes that service is operated in conformity with statutory requirements.
6. References to "a lawyer" in this and other Rules include lawyers who practice in law firms. A lawyer associated with a firm cannot circumvent these Rules by soliciting or advertising in the name of that firm in a way that violates these Rules. See Rule 1.04(e).